COMPLIANCE MONITORING OFFICER – INVESTMENT jobs in GREATER LONDON, United Kingdom

to the Senior Compliance Officer heading the General Compliance team. We currently operate a hybrid working model at IBKR... Monitoring Framework; Create, maintain, and implement compliance-related policies; conduct internal compliance reviews...

their monitoring abilities. Also assist with producing MI/KPIs to relay back to senior Compliance management for reporting purposes...Key Responsibilities The successful individual will be responsible for: Monitoring of the Bank's transactions...

, procedures and guidelines. · Implement and manage the UK Investment Firm's compliance and risk management policies... monitoring and risk reporting. · Set out best practice procedures for the firm and its management to follow. The Compliance...

language is favourable; · Be eligible to be appointed as Compliance officer of the UK investment firm (subject to regulatory...· Undertake compliance risk and risk management assessments at the UK investment firm level and at the underlying asset...

for an experienced compliance officer, looking to progress to the next level who is looking to work in a fast-paced FinTech start-up.... As part of the Risk & Compliance team, reporting to the Chief Risk & Compliance Officer, you will be responsible for ensuring...

compliance officer, looking to progress to the next level who is looking to work in a fast-paced FinTech start-up. As part of the... Risk & Compliance team, reporting to the Chief Risk & Compliance Officer, you will be responsible for ensuring...

to: Provide expert regulatory advice to the investment/deal teams. Manage code-of-ethics and compliance monitoring related tasks..., investment banks and technology firms. We began as a compliance recruitment firm in London and expanded to offer new resourcing...

Compliance seeks a Compliance Officer to support PGIM Marketing Compliance. Based in London, you will be part of the team... are met in marketing materials. Assisting with the monitoring, tracking, and communicating developments in EMEA regulation...

compliance monitoring initiatives within a prestigious mid-sized, Asset Management firm. The Role: As the Compliance Officer... experience in a compliance monitoring role with a specific focus on Asset Management, ideally across investment vehicle types...

​Our Client Our client, a UK-based exchange, is currently seeking a Compliance Officer to join its London office... monitoring reviews in line with the firm's Compliance Monitoring Programme Conducting AML and KYC reviews Spearheading client...

employee development and deliver the goals of the Firm wide Risk organization. As a Markets Advisory Compliance Officer... a Compliance, Risk or Control role in a global investment bank would be a significant advantage About Us: J.P. Morgan...

a French Speaking Senior compliance Officer to join our Compliance Monitoring team on a 9-month fixed term basis. This is the... of agreed plans to ensure the achievement of the Compliance department’s objectives. Monitor regulatory developments...

is looking for a Senior Compliance Officer (Investment Mgt / Financial Services background) in either Sittingbourne or London Mayfair, and the...Do you have Senior Compliance Officer experience, and are you seeking a new hybrid job? Our client...

start-up. As part of the Risk & Compliance team, reporting to a Senior Compliance Officer, you will be responsible... line with the execution of the Compliance Monitoring Program (CMP). Reviewing and approving financial promotions...

. As part of the Risk & Compliance team, reporting to a Senior Compliance Officer, you will be responsible for ensuring... line with the execution of the Compliance Monitoring Program (CMP). Reviewing and approving financial promotions...

in London but also as a matrix into the global chief compliance officer overseas The role is responsible for providing... (in cooperation with regional Legal & Compliance) Tracking and monitoring global registration/passporting of products in...

to the Chief Risk Officer. The Compliance team located in the UK covers Investment, Product, Client Group, Financial Crime... Compliance team that covers Investment, Product, Client Group, Marketing and Regulatory initiatives. The individual...